202.22 Registration requirements.
202.23 Financial capability.
202.24 Rights, duties, and obligations unaffected.
GENERAL PROVISIONS
202.01
202.01
Definitions. In this subchapter:
202.01(1)
(1) “Applicant" means any of the following:
202.01(1)(a)
(a) A person applying to the department for an initial registration.
202.01(1)(b)
(b) A person applying to the department for renewal of a registration.
202.01(1m)
(1m) “Application" includes an application for initial registration and an application for renewal of a registration.
202.01(3)
(3) “Department" means the department of financial institutions.
202.021(1)(a)(a) Applicants for registration under this chapter shall apply to the department, on forms and in the manner prescribed by the department. Forms prescribed by the department under this paragraph may contain any content or requirement that the department, in its discretion, determines necessary and these forms may be modified or updated as necessary by the department to carry out the purposes of this chapter.
202.021(1)(b)1.1. The department shall require each applicant to provide his or her social security number with the applicant's application, or, if the applicant is not an individual, the department shall require the applicant to provide its federal employer identification number.
202.021(1)(b)2.
2. If an applicant is an individual who does not have a social security number, the applicant shall submit a statement to the department made or subscribed under oath that the applicant does not have a social security number. The department of children and families shall prescribe the form of the statement. A registration issued in reliance upon a false statement submitted under this subdivision is invalid.
202.021(1)(b)3.
3. The department may not disclose a social security number obtained under
subd. 1. to any person except the department of children and families to administer
s. 49.22, the department of revenue to request certifications under
s. 73.0301 and administer state taxes, and the department of workforce development to request certifications under
s. 108.227.
202.021(1)(c)
(c) The department may require the electronic submission of an application or any other document or information that may be submitted to the department under this chapter.
202.021(2)
(2) Completion of registration process. 202.021(2)(a)(a) The department may conduct an investigation of the applicant, including the applicant's members, officers, trustees, and directors, to determine whether the applicant satisfies all of the requirements specified for registration. The investigation may include determining whether any of the applicant's members, officers, trustees, or directors has an arrest or conviction record. In conducting an investigation under this paragraph, the department may require an applicant to provide any information that is necessary for the investigation.
202.021(2)(b)
(b) If an officer, director, or member of an applicant has been convicted or has an arrest or conviction record, the department may charge an applicant the fees, costs, or other expenses the department incurs for conducting an investigation under this subsection.
202.021(2)(bn)
(bn) Subject to
ss. 111.321,
111.322, and
111.335, the department may deny or limit the registration of an applicant or registrant that has a member, officer, trustee, or director who has been convicted of a felony or misdemeanor.
202.021(2)(c)
(c) Except as provided in
sub. (4), the department shall, after its review of an application, issue a certificate of registration to the applicant.
202.021(2)(d)
(d) A registration issued under this chapter is not assignable or transferable.
202.021(3)(a)(a) The department shall give a notice of renewal to each registrant at least 30 days before the expiration date of the registration. The department may give that notice by electronic transmission.
202.021(3)(b)
(b) Failure to receive a notice of renewal is not a defense in any disciplinary proceeding against a registrant or in any proceeding against a former registrant for practicing without a registration. Failure to receive a notice of renewal does not relieve a registrant from the obligation to pay a penalty for late renewal under
par. (c).
202.021(3)(c)1.1. A registrant may apply to renew its registration by submitting to the department an application, fees, and any financial statement required by
s. 202.22. For the renewal application to be timely, the renewal fee and application must be received by the department on or before the registration's expiration date.
202.021(3)(c)2.
2. Subject to
subd. 4., a registrant whose renewal fee and completed application are not received by the department on or before the registration's expiration date, but are received within 60 days after the expiration date, must pay the late fee determined by the department under
s. 202.041.
202.021(3)(c)3.
3. A registrant whose renewal fee and completed application are not received by the department within 60 days after the expiration date of the registration must submit an application for a new registration.
202.021(3)(c)4.
4. After the expiration date, a registrant that is required to renew its registration may not continue to conduct the activity for which the registration is required unless the registrant's certificate has been renewed by the department or the registrant has paid the renewal fee and filed a completed renewal application on or before the registration's expiration date.
202.021(4)(a)(a) The department may not issue or renew a registration under this chapter if any of the following applies:
202.021(4)(a)1.
1. The applicant has failed to submit a complete application to the department. Before denying an incomplete application, the department shall notify the applicant of any deficiencies in the application and give the applicant a reasonable amount of time to resolve the deficiencies.
202.021(4)(a)2.
2. The department determines that the applicant has failed to comply with any applicable requirement for the issuance or renewal of registration.
202.021(4)(a)3.
3. The department determines that the denial of the application is necessary to protect the public health, safety, or welfare.
202.021(4)(a)4.
4. The department is not satisfied that the applicant or registrant will comply with this chapter and any rules promulgated under this chapter.
202.021(4)(a)5.
5. The department of revenue has certified under
s. 73.0301 that the applicant is liable for delinquent taxes. An applicant whose application is denied under this subdivision for delinquent taxes is entitled to a notice under
s. 73.0301 (2) (b) 1. b. and hearing under
s. 73.0301 (5) (a) but is not entitled to any other notice or hearing under this section.
202.021(4)(a)6.
6. The department of workforce development has certified under
s. 108.227 that the applicant is liable for delinquent unemployment insurance contributions. An applicant whose application is denied under this subdivision for delinquent unemployment insurance contributions is entitled to a notice under
s. 108.227 (2) (b) 1. b. and hearing under
s. 108.227 (5) (a) but is not entitled to any other notice or hearing under this section.
202.021(4)(a)7.
7. The applicant is an individual who fails to comply, after appropriate notice, with a subpoena or warrant issued by the department of children and families or a county child support agency under
s. 59.53 (5) and related to child support or paternity proceedings or who is delinquent in making court-ordered payments of child or family support, maintenance, birth expenses, medical expenses, or other expenses related to the support of a child or former spouse, as provided in a memorandum of understanding entered into under
s. 49.857. An applicant whose license is not issued or renewed under this subdivision for delinquent payments is entitled to a notice and hearing under
s. 49.857 but is not entitled to any other notice or hearing under this section.
202.021(4)(b)
(b) If the department denies an application under
par. (a) 1.,
2.,
3., or
4., the department shall provide the applicant with a notice of denial that states the facts or conduct giving rise to the denial and states that the applicant may, within 30 days after the date stated on the notice of denial, file a written request with the department for the department to review the denial at a hearing.
202.021 History
History: 2015 a. 163 ss.
6,
8,
12 to
14,
17,
18,
20,
21,
24,
28.
202.031(1)(1) The department shall establish the content and form of each type of registration. Upon the request of a registrant and payment of a $10 fee, the department may issue to a registrant a wall certificate.
202.031(2)
(2) The department may require a registrant to do any of the following:
202.031(2)(a)
(a) Display the registrant's certificate of registration in a conspicuous place in the registrant's office or place of business.
202.031(2)(b)
(b) Post a notice in a conspicuous place in the registrant's office or place of business, or on the registrant's Internet site, describing the procedures for filing a complaint against the registrant.
202.031(3)
(3) A registrant, or a registrant's officer, director, trustee, or member, who is convicted of a felony or misdemeanor anywhere shall send a notice of the conviction by 1st class mail to the department within 48 hours after the entry of the judgment of conviction.
202.031(4)
(4) A registrant may voluntarily surrender his, her, or its registration. The department may refuse to accept that surrender if a complaint has been filed or a disciplinary proceeding has been commenced against the registrant.
202.031(5)(a)(a) Applicants and registrants shall keep current and accurate all material information contained in the application or on file with the department. Material information includes name, mailing address, electronic mail address, and trade names.
202.031(5)(b)
(b) Notification of any change to material information shall be made to the department within 30 days after the change and shall be made in writing or in accordance with other notification procedures approved by the department.
202.031(5)(c)
(c) Any person who fails to comply with
par. (b) shall be subject to a forfeiture of $50 for each violation.
202.031(6)
(6) Before using any trade name in this state, the registrant shall inform the department in writing that the registrant intends to use the trade name. Unless the registrant is informed by the department within 30 days of submission of the trade name to the department that it may not use the proposed trade name, the registrant may use the trade name.
202.031 History
History: 2015 a. 163 ss.
2,
4,
5,
9,
25,
30,
33,
35.
202.041(1)(1) The department shall determine the fees for an initial registration and for a registration renewal, including late fees for each type of registration under
ss. 202.12 to
202.14 and
202.22, based on the department's administrative and enforcement costs under this chapter.
202.041(2)
(2) Before the department makes any fee adjustment under
sub. (1), the department shall send a notification of the proposed fee adjustments to the cochairpersons of the joint committee on finance. If the cochairpersons of the committee do not notify the secretary of financial institutions within 14 working days after the date of the department's notification that the committee has scheduled a meeting for the purpose of reviewing the proposed fee adjustments, the fee adjustments may be made as proposed. The department shall notify registrants of the fee adjustments by posting the fee adjustments on the department's Internet site and in registration renewal notices sent to affected registrants under
s. 202.021 (3) (a). If, within 14 working days after the date of the department's notification, the cochairpersons of the committee notify the secretary of financial institutions that the committee has scheduled a meeting for the purpose of reviewing the proposed fee adjustments, the fee adjustments may be made only upon approval of the committee.
202.041 History
History: 2013 a. 20;
2015 a. 163 s.
46; 202.041, 2015 stats.
202.051
202.051
Debit or credit card payments; collection of registration for nonpayment by financial institution. 202.051(1)(1) If the department permits the payment of a fee by use of a debit or credit card, the department may charge a service charge for each transaction in addition to the fee being paid. The service charge shall be sufficient to cover the cost to the department of permitting the payment of a fee by debit or credit card.
202.051(2)
(2) If a registrant pays a fee required under this chapter by check or by debit or credit card and the check is not paid by the financial institution upon which the check is drawn or if the demand for payment under the debit or credit card transaction is not paid by the financial institution upon which demand is made, the department may cancel the registration after 60 days after the department receives a notice of nonpayment from the financial institution, subject to
sub. (3).
202.051(3)
(3) At least 20 days before canceling a registration under
sub. (2), the department shall provide a notice to the registrant that informs the registrant that the check or demand for payment under the debit or credit card transaction was not paid by the financial institution and that the registrant's registration may be canceled, unless the registrant does all of the following before that date:
202.051(3)(a)
(a) Pays the fee for which the unpaid check or demand for payment under the debit or credit card transaction was issued.
202.051(3)(c)
(c) Pays the charge for an unpaid draft established by the depository selection board under
s. 20.905 (2).
202.051(4)
(4) The department may extend the date for cancellation to allow the registrant additional time to comply with
sub. (3) (a) to
(c).
202.051(5)
(5) The department may reinstate a registration that it cancelled under this section only if the former registrant complies with
sub. (3) (a) to
(c) and pays a $30 reinstatement fee.
202.051 History
History: 2013 a. 20;
2015 a. 163 s.
47; 202.051, 2015 stats.
202.06
202.06
Disciplinary proceedings; enforcement of laws requiring registration. 202.06(2)(c)(c) The department may reprimand a registrant or deny, limit, suspend, revoke, restrict, refuse to renew, or otherwise withhold a registration if the department finds that an applicant, registrant, or controlling person has done any of the following:
202.06(2)(c)1.
1. Made a material misrepresentation or false statement in an application or in any other information submitted to the department or in a report under
s. 108.067.
202.06(2)(c)2.
2. Violated this chapter or a rule promulgated under this chapter.
202.06(2)(d)
(d) Subject to
ss. 111.321,
111.322, and
111.335, the department may reprimand a registrant or deny, limit, suspend, revoke, restrict, refuse to renew, or otherwise withhold a registration if the department finds that the registrant has a member, officer, trustee, or director who has been convicted of a felony or misdemeanor.
202.06(2)(e)
(e) The department shall restrict or suspend a registration if the registrant is an individual who fails to comply, after appropriate notice, with a subpoena or warrant issued by the department of children and families or a county child support agency under
s. 59.53 (5) and related to child support or paternity proceedings or who is delinquent in making court-ordered payments of child or family support, maintenance, birth expenses, medical expenses, or other expenses related to the support of a child or former spouse, as provided in a memorandum of understanding entered into under
s. 49.857. An individual whose registration is restricted or suspended under this paragraph is entitled to a notice and hearing only as provided in a memorandum of understanding entered into under
s. 49.857.
202.06(2)(f)
(f) The department shall revoke a registration if the department of revenue certifies under
s. 73.0301 that the registrant is liable for delinquent taxes. A registrant whose registration is revoked under this paragraph for delinquent taxes is entitled to a notice under
s. 73.0301 (2) (b) 1. b. and a hearing under
s. 73.0301 (5) (a).
202.06(2)(g)
(g) The department shall revoke a registration if the department of workforce development certifies under
s. 108.227 that the registrant is liable for delinquent unemployment insurance contributions. A registrant whose registration is revoked under this paragraph for delinquent unemployment insurance contributions is entitled to a notice under
s. 108.227 (2) (b) 1. b. and a hearing under
s. 108.227 (5) (a).
202.06(3)
(3) Forfeiture. In addition to or in lieu of a reprimand or a denial, limitation, suspension, revocation, restriction, nonrenewal, or other withholding of a registration under
sub. (2) (c), the department may assess against an applicant, registrant, or controlling person a forfeiture of not more than $1,000 for each violation.